procedures as specified in the notification. In this regard, Bitazza's compliance system for monitoring the operations of the digital asset business operator was deficient. In particular, Bitazza failed
for monitoring the operations of the digital asset business operator was deficient. In particular, Bitazza failed to prepare an audit plan that appropriately reflected the relevant risks. The audit
-supervision system for executive asset management that was insufficient to prevent conflicts of interest. Specifically, Bualuang Securities issued internal approvals exempting six executives from the firm’s
for its operations, is liable for the case in which BLS had inadequate supervisory controls over investments held as assets of its executives, resulting in insufficient safeguards against conflicts of
information by knowing that PPPM had insufficient liquidity to repay principal and interest of the Debenture No.2. The published information may mislead investors about PPPM’s materiality information that is
Company Limited ("IFEC"), acquired the knowledge from the Board of Directors Meetings No. 11/2016, held on 1 November 2016, that IFEC faced a problem with insufficient cash flow to pay off its
such information by knowing that PPPM had insufficient liquidity to repay principal and interest of the Debenture No.2. The published information may mislead investors about PPPM’s materiality